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Online - 2009 Fall Forum The Scope of Securities Fraud: A National Perspective
The Scope of Securities Fraud: A National Perspective
1.5 Self-Study
Price: $56.25 (provides online access for 3 months after purchase).
Course №:V 09FF
Course Level: Basic
Duration: 1 Hour 35 Minutes
Original Program Date: Friday, November 13, 2009
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  Item Description | Faculty
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Keynote Address: John S. Polise
The Scope of Securities Fraud: A National Perspective

John S. Polise is Assistant Director, Division of Enforcement, Securities and Exchange Commission, Washington, D.C. As Assistant Director
he manages complex rule filings from self-regulatory organizations and is responsible for administering the Division of Market
Regulationís program for regulating Alternative Trading Systems, Electronic Communications Networks and new trading systems. He previously
has held positions at both NA SD and the CFTC and also clerked for the Honorable Stanley Sporkin in the Federal District Court in the District
of Columbia. In 2002 Mr. Polise received the Division of Market Regulationís Jay Manning Award. He also received the SECís Capital
Markets Award in 2001 for being part of the Commissionís September 11th recovery team, and received the NA SD Regulationís Presidentís
Award in 2000 for outstanding contribution in the investigation and litigation of a precedent-setting customer protection case.


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John S. Polise
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